DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

A••••• N••••••• S•••

P•••• C•••••• F••••••••mixed wealthLos Angeles, Ca IA-onlyIAPD 6281487

Feed of 09/14/2026

Also filed as A••••• N••••••• S•••

At current firm

1 y

since Nov 8, 2024

In the industry

16 y

since Nov 1, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••• C•••••• F•••••••• mixed wealth current
since Nov 8, 2024 · Los Angeles, Ca
E•••••• F•••••••• E•••••• independent RIA
Jun 29, 2022 to Dec 6, 2024 · Woodland Hills, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Jun 6, 2022 · Boston, Ma
S•••••••• A••••••• L•• national BD
Feb 14, 2018 to Jul 13, 2018 · Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to P•••• C•••••• F••••••••
left Dec 6, 2024, registered Nov 8, 2024 (-28 days) · RIA to RIA
F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• F•••••••• E••••••
left Jun 6, 2022, registered Jun 29, 2022 (23 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

A••••• N••••••• S••• left E•••••• F•••••••• E•••••• for P•••• C•••••• F•••••••• (registered 2024-11-08)
Dec 6, 2024 · Advisor changed firm · fact
A••••• N••••••• S••• left F••••••• P••••••• A•• W•••••••• A••••••• for E•••••• F•••••••• E•••••• (registered 2022-06-29)
Jun 6, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wealth manager with institutional or fund businessderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address